BAYVIEW ASSET MANAGEMENT, LLC

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Bayview Asset Management is based out of Coral Gables. Bayview Asset Management is a large advisory firm with 39 clients and discretionary assets under management (AUM) of $32,833,952,000 (Form ADV from 2019-03-26). Their last reported 13F filing for Q1 2019 included $315,943,000 in managed 13F securities and a top 10 holdings concentration of 99.63%. Bayview Asset Management's largest holding is MGIC Investment Corp. (1984) with shares held of 7,813,534. Whalewisdom has at least 2 13F filings

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03/31/2019

13F Sector Allocation Over Time

03/31/2019

13F Activity

  • Market Value $315.943 Million
  • Prior Market Value $272.349 Million
  • New Purchases1 stock
  • Additional Purchases2 stocks
  • Sold out of1 stock
  • Reduced holdings in4 stocks
  • Top 10 Holdings % 99.63 %
  • Turnover % [1]:18.18%
  • Turnover Alt % [2]: 10.31 %
  • Time Held Top20:0.91 quarters
  • Time Held Top10:0.90 quarters
  • Time Held All:0.91 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-05-15

Performance for Q1 2019: 3.08%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted
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13F Filings Available:
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

BAYVIEW ASSET MANAGEMENT, LLC
Classified as Hedge Fund
4425 PONCE DE LEON BLVD. 5TH FLOOR
CORAL GABLES FL    33146
Country: United States

Business Phone: 305-854-8880
Fax: 305-448-8130
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 269
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees,VARIABLE ACQUISITION, DUE DILIGENCE AND CLOSING FEES
Amount of client funds and securities: 28,327,100,000
Total Number of Clients: 39
Amount of client funds and securities by related persons: 28,327,100,000
Total Number of clients from related persons: 26
Disclosures:
Data above was derived from SEC filings.

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BAYVIEW ASSET MANAGEMENT, LLC

ownership team - last updated 2019-03-26
Name Title Start Date Direct/Indirect % Ownership
ERTEL, DAVID CHIEF EXECUTIVE OFFICER / DIRECTOR 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1994-12-01
BAYVIEW ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1997-12-01
BAYVIEW ASSET MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER / DIRECTOR direct 2008-07-01
PINGORA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1994-12-01
PINGORA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1997-12-01
BOMSTEIN, BRIAN, ERIC CHIEF LEGAL OFFICER / DIRECTOR 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC CHIEF LEGAL OFFICER / DIRECTOR direct 2008-07-01
BAYVIEW ASSET MANAGEMENT, LLC CHIEF LEGAL OFFICER / DIRECTOR / CHIEF COMPLIANCE OFFICER direct 2008-07-01
O'BRIEN, RICHARD, THOMAS CHIEF OPERATIONAL OFFICER / DIRECTOR 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC CHIEF OPERATIONAL OFFICER direct 2008-07-01
BAYVIEW ASSET MANAGEMENT, LLC CHIEF OPERATIONAL OFFICER / DIRECTOR direct 2008-07-01
EVENSON, BRETT MANAGING DIRECTOR 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC MANAGING DIRECTOR direct 2008-07-01
WALDMAN, STUART MANAGING DIRECTOR 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC MANAGING DIRECTOR direct 2008-07-01
BAYVIEW ASSET MANAGEMENT HOLDINGS, LLC MEMBER 02/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC MEMBER direct 2008-07-01
BAYVIEW ASSET MANAGEMENT, LLC MEMBER direct 2015-02-01
BAYVIEW ASSET MANAGEMENT, LLC MEMBER indirect 2015-02-01
PINGORA ASSET MANAGEMENT, LLC MEMBER indirect 2015-02-01
PINGORA ASSET MANAGEMENT, LLC MEMBER indirect 2015-02-01
MILLER, MATTHEW, CRAIG MANAGING DIRECTOR 07/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC MANAGING DIRECTOR direct 2012-07-01
PORTUGAL, CARLOS, MANUEL CHIEF COMPLIANCE OFFICER 11/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-11-01
O'NEIL, SEAN, BRADLEY CHIEF FINANCIAL OFFICER / DIRECTOR 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC CHIEF FINANCIAL OFFICER / DIRECTOR direct 2016-04-01
BFTG HOLDING COMPANY, INC. LIMITED PARTNER BAYVIEW FINANCIAL HOLDINGS, L.P. 07/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2007-07-01
PINGORA ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2007-07-01
ERTEL, DAVID SHAREHOLDER BFTG HOLDING COMPANY, INC. 12/01/1994 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1994-12-01
BAYVIEW ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1997-12-01
BAYVIEW ASSET MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER / DIRECTOR direct 2008-07-01
PINGORA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1994-12-01
PINGORA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1997-12-01
BAYVIEW FINANCIAL MANAGEMENT CORP. GENERAL PARTNER BAYVIEW FINANCIAL HOLDINGS, L.P. 06/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2007-06-01
BAYVIEW ASSET MANAGEMENT, LLC MEMBER indirect 2015-02-01
PINGORA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2007-06-01
PINGORA ASSET MANAGEMENT, LLC MEMBER indirect 2015-02-01
ERTEL, DAVID SHAREHOLDER BAYVIEW FINANCIAL MANAGEMENT CORP. 12/01/1997 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1994-12-01
BAYVIEW ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1997-12-01
BAYVIEW ASSET MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER / DIRECTOR direct 2008-07-01
PINGORA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1994-12-01
PINGORA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1997-12-01
HECTOR, NANCY SHAREHOLDER BAYVIEW FINANCIAL MANAGEMENT CORP. 12/01/1997 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1997-12-01
PINGORA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1997-12-01
BAYVIEW FINANCIAL HOLDINGS, L.P. MEMBER BAYVIEW ASSET MANAGEMENT HOLDINGS, LLC 02/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC MEMBER direct 2008-07-01
BAYVIEW ASSET MANAGEMENT, LLC MEMBER direct 2015-02-01
BAYVIEW ASSET MANAGEMENT, LLC MEMBER indirect 2015-02-01
PINGORA ASSET MANAGEMENT, LLC MEMBER indirect 2015-02-01
PINGORA ASSET MANAGEMENT, LLC MEMBER indirect 2015-02-01
BAYVIEW FINANCIAL MANAGEMENT CORP. MEMBER BAYVIEW ASSET MANAGEMENT HOLDINGS, LLC 02/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2007-06-01
BAYVIEW ASSET MANAGEMENT, LLC MEMBER indirect 2015-02-01
PINGORA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2007-06-01
PINGORA ASSET MANAGEMENT, LLC MEMBER indirect 2015-02-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BAYVIEW OPPORTUNITY V OCEANVIEW, L.P. Bermuda 805-3886327248 Hedge Fund 1,010,095,000 10,000,000 Master Fund
BAYVIEW OPPORTUNITY MASTER FUND IIA, L.P. Cayman Islands 805-6366049958 Hedge Fund 29,597,000 10,000,000 Master Fund
BAYVIEW OPPORTUNITY MASTER FUND V, L.P. Cayman Islands 805-4791381141 Hedge Fund 3,904,111,000 10,000,000 Master Fund
BAYVIEW MSR OPPORTUNITY MASTER FUND, L.P. Cayman Islands 805-2199773936 Hedge Fund 11,798,637,000 10,000,000 Master Fund
BAYVIEW LIQUID CREDIT STRATEGIES MASTER FUND, L.P. Cayman Islands 805-4455518501 Hedge Fund 1,757,922,000 1,000,000 Master Fund
KOITERE FUND, L.P. United States 805-4094154575 Hedge Fund 789,477,000 10,000,000
IVALO FUND, L.P. United States 805-9618772583 Hedge Fund 1,602,206,000 10,000,000 Fund of Funds
MORTGAGE FUND IVC, LP United States 805-1602213183 Hedge Fund 336,156,000 10,000,000
BAYVIEW OPPORTUNITY MASTER FUND IIIB, L.P. Cayman Islands 805-9198287442 Hedge Fund 207,608,000 10,000,000 Master Fund
BAYVIEW OPPORTUNITY MASTER FUND IVB, L.P. Cayman Islands 805-5422857437 Hedge Fund 2,764,638,000 10,000,000 Master Fund
BAYVIEW OPPORTUNITY MASTER FUND IIIA, L.P. Cayman Islands 805-9644228304 Hedge Fund 171,386,000 10,000,000 Master Fund
BAYVIEW OPPORTUNITY MASTER FUND IVA, L.P. Cayman Islands 805-2581593152 Hedge Fund 3,384,635,000 10,000,000 Master Fund
BAYVIEW MORTGAGE SECURITIES MASTER FUND, L.P. Cayman Islands 805-3611529653 Hedge Fund 3,567,531,000 1,000,000 Master Fund
BAYVIEW OPPORTUNITY MASTER FUND, L.P. Cayman Islands 805-4592646488 Hedge Fund 143,634,250 10,000,000 Master Fund

BAYVIEW ASSET MANAGEMENT, LLC

ownership team - last updated 2017-08-31
Name Title Start Date Direct/Indirect % Ownership
O'NEIL, SEAN, BRADLEY CHIEF FINANCIAL OFFICER / DIRECTOR 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC CHIEF FINANCIAL OFFICER / DIRECTOR direct 2016-04-01
PORTUGAL, CARLOS, MANUEL CHIEF COMPLIANCE OFFICER 11/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-11-01
MILLER, MATTHEW, CRAIG MANAGING DIRECTOR 07/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC MANAGING DIRECTOR direct 2012-07-01
BISCAYNE ONE, LLC MEMBER 10/01/2008 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC MEMBER direct 2008-10-01
BAYVIEW ASSET MANAGEMENT HOLDINGS, LLC MEMBER 02/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC MEMBER direct 2008-07-01
BAYVIEW ASSET MANAGEMENT, LLC MEMBER direct 2015-02-01
BAYVIEW ASSET MANAGEMENT, LLC MEMBER indirect 2015-02-01
PINGORA ASSET MANAGEMENT, LLC MEMBER indirect 2015-02-01
PINGORA ASSET MANAGEMENT, LLC MEMBER indirect 2015-02-01
QUINT, DAVID, ERIC DIRECTOR 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC DIRECTOR direct 2008-07-01
WALDMAN, STUART MANAGING DIRECTOR 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC MANAGING DIRECTOR direct 2008-07-01
EVENSON, BRETT MANAGING DIRECTOR 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC MANAGING DIRECTOR direct 2008-07-01
O'BRIEN, RICHARD, THOMAS CHIEF OPERATIONAL OFFICER / DIRECTOR 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC CHIEF OPERATIONAL OFFICER direct 2008-07-01
BAYVIEW ASSET MANAGEMENT, LLC CHIEF OPERATIONAL OFFICER / DIRECTOR direct 2008-07-01
BOMSTEIN, BRIAN, ERIC CHIEF LEGAL OFFICER / DIRECTOR 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC CHIEF LEGAL OFFICER / DIRECTOR direct 2008-07-01
BAYVIEW ASSET MANAGEMENT, LLC CHIEF LEGAL OFFICER / DIRECTOR / CHIEF COMPLIANCE OFFICER direct 2008-07-01
ERTEL, DAVID CHIEF EXECUTIVE OFFICER / DIRECTOR 07/01/2008 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1994-12-01
BAYVIEW ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1997-12-01
BAYVIEW ASSET MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER / DIRECTOR direct 2008-07-01
PINGORA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1994-12-01
PINGORA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1997-12-01
BAYVIEW FINANCIAL MANAGEMENT CORP. MEMBER BAYVIEW ASSET MANAGEMENT HOLDINGS, LLC 02/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2007-06-01
BAYVIEW ASSET MANAGEMENT, LLC MEMBER indirect 2015-02-01
PINGORA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2007-06-01
PINGORA ASSET MANAGEMENT, LLC MEMBER indirect 2015-02-01
BAYVIEW FINANCIAL HOLDINGS, L.P. MEMBER BAYVIEW ASSET MANAGEMENT HOLDINGS, LLC 02/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC MEMBER direct 2008-07-01
BAYVIEW ASSET MANAGEMENT, LLC MEMBER direct 2015-02-01
BAYVIEW ASSET MANAGEMENT, LLC MEMBER indirect 2015-02-01
PINGORA ASSET MANAGEMENT, LLC MEMBER indirect 2015-02-01
PINGORA ASSET MANAGEMENT, LLC MEMBER indirect 2015-02-01
THE BLACKSTONE GROUP, L.P. SHAREHOLDER BLACKSTONE HOLDINGS I/II GP INC. 06/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLACKSTONE ALTERNATIVE ASSET MANAGEMENT LP SHAREHOLDER indirect 2007-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2015-12-01
BLACKSTONE MEZZANINE ADVISORS LP SHAREHOLDER indirect 2007-06-01
BLACKSTONE REAL ESTATE ADVISORS III LP SHAREHOLDER indirect 2007-06-01
BLACKSTONE MANAGEMENT PARTNERS III LLC SHAREHOLDER indirect 2007-06-01
BLACKSTONE COMMUNICATIONS ADVISORS I LLC SHAREHOLDER indirect 2007-06-01
BLACKSTONE MANAGEMENT PARTNERS LP SHAREHOLDER indirect 2007-06-01
BLACKSTONE REAL ESTATE ADVISORS INTERNATIONAL L.L.C SHAREHOLDER indirect 2007-06-01
BLACKSTONE MANAGEMENT PARTNERS IV L.L.C. SHAREHOLDER indirect 2007-06-01
BLACKSTONE DEBT ADVISORS L.P. SHAREHOLDER indirect 2007-06-01
BLACKSTONE DEBT ADVISORS L.P. SOLE MEMBER indirect 2009-11-01
BLACKSTONE DEBT ADVISORS L.P. SOLE MEMBER indirect 2009-11-01
BLACKSTONE REAL ESTATE ADVISORS IV L.L.C. SHAREHOLDER indirect 2007-06-01
BLACKSTONE MEZZANINE ADVISORS II L.P. SHAREHOLDER indirect 2007-06-01
BLACKSTONE DISTRESSED SECURITIES ADVISORS L.P. SHAREHOLDER indirect 2007-06-01
BLACKSTONE REAL ESTATE ADVISORS EUROPE L.P. SHAREHOLDER indirect 2007-06-01
BLACKSTONE MANAGEMENT PARTNERS L.L.C. SHAREHOLDER indirect 2007-06-01
BLACKSTONE ASIA ADVISORS L.L.C. SHAREHOLDER indirect 2007-06-01
GSO CAPITAL PARTNERS LP SHAREHOLDER indirect 2007-06-01
GSO CAPITAL PARTNERS LP SOLE MEMBER indirect 2007-06-01
GSO CAPITAL PARTNERS LP MEMBER indirect 2007-06-01
GSO CAPITAL PARTNERS LP SOLE SHAREHOLDER indirect 2007-06-01
GSO CAPITAL PARTNERS LP SHAREHOLDER indirect 2007-06-01
GSO CAPITAL PARTNERS LP SOLE MEMBER indirect 2007-06-01
GSO CAPITAL PARTNERS LP MEMBER indirect 2007-06-01
GSO CAPITAL PARTNERS LP SHAREHOLDER indirect 2007-06-01
BLACKSTONE FUND SERVICES INDIA PRIVATE LIMITED SHAREHOLDER indirect 2007-06-01
BLACKSTONE FUND SERVICES INDIA PRIVATE LIMITED SHAREHOLDER indirect 2007-06-01
BLACKSTONE REAL ESTATE ADVISORS V L.P. SHAREHOLDER indirect 2007-06-01
BLACKSTONE L/S ADVISORS L.L.C. SHAREHOLDER indirect 2007-06-01
BLACKSTONE STRATEGIC ALLIANCE ADVISORS L.L.C. SHAREHOLDER indirect 2007-06-01
BLACKSTONE REAL ESTATE ADVISORS L.P. SHAREHOLDER indirect 2007-06-01
GSO / BLACKSTONE DEBT FUNDS MANAGEMENT LLC SOLE SHAREHOLDER indirect 2007-06-01
GSO / BLACKSTONE DEBT FUNDS MANAGEMENT LLC MEMBER indirect 2007-06-01
GSO / BLACKSTONE DEBT FUNDS MANAGEMENT LLC SHAREHOLDER indirect 2007-06-01
GSO / BLACKSTONE DEBT FUNDS MANAGEMENT LLC SOLE MEMBER indirect 2007-06-01
GSO / BLACKSTONE DEBT FUNDS MANAGEMENT LLC SOLE MEMBER indirect 2007-06-01
GSO / BLACKSTONE DEBT FUNDS MANAGEMENT LLC MEMBER indirect 2007-06-01
GSO DEBT FUNDS MANAGEMENT LLC MEMBER indirect 2007-06-01
GSO / BLACKSTONE DEBT FUNDS MANAGEMENT LLC MEMBER indirect 2007-06-01
BLACKSTONE REAL ESTATE SPECIAL SITUATIONS ADVISORS L.L.C. SHAREHOLDER indirect 2007-06-01
BLACKSTONE ASIA EVENT ADVISORS L.L.C. SHAREHOLDER indirect 2007-06-01
BLACKSTONE ASIA EVENT ADVISORS (CAYMAN) LTD. SHAREHOLDER indirect 2008-06-01
BLACKSTONE CLEANTECH VENTURE ADVISORS L.L.C. SHAREHOLDER indirect 2008-10-01
GSO CAPITAL ADVISORS LLC SHAREHOLDER indirect 2007-06-01
GSO CAPITAL ADVISORS LLC SOLE SHAREHOLDER indirect 2007-06-01
GSO CAPITAL ADVISORS LLC SOLE MEMBER indirect 2009-11-01
GSO CAPITAL ADVISORS LLC SHAREHOLDER indirect 2009-11-01
GSO CAPITAL ADVISORS LLC MEMBER indirect 2009-11-01
GSO CAPITAL ADVISORS LLC MEMBER indirect 2009-11-01
GSO CAPITAL ADVISORS LLC SOLE MEMBER indirect 2009-11-01
BLACKSTONE INFRASTRUCTURE MANAGEMENT PARTNERS L.L.C SHAREHOLDER indirect 2009-12-01
BAYVIEW ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2007-06-01
BLACKSTONE ALTERNATIVE SOLUTIONS L.L.C. SHAREHOLDER indirect 2007-06-01
CT INVESTMENT MANAGEMENT CO., LLC SHAREHOLDER indirect 2007-06-01
CT INVESTMENT MANAGEMENT CO., LLC SHAREHOLDER indirect 2012-08-01
BLACKSTONE TACTICAL OPPORTUNITIES ADVISORS L.L.C. SHAREHOLDER indirect 2011-12-01
BLACKSTONE ALTERNATIVE INVESTMENT ADVISORS LLC SHAREHOLDER indirect 2007-06-01
BLACKSTONE STRATEGIC CAPITAL ADVISORS, L.LC. SHAREHOLDER indirect 2007-06-01
BLACKSTONE TREASURY SOLUTIONS ADVISORS L.L.C. SHAREHOLDER indirect 2007-06-01
BLACKSTONE REAL ESTATE INCOME ADVISORS L.L.C. SHAREHOLDER indirect 2007-06-01
BLACKSTONE MULTI-ASSET ADVISORS L.L.C. SHAREHOLDER indirect 2007-06-01
BLACKSTONE NWI ASSET MANAGEMENT L.L.C. SHAREHOLDER indirect 2007-06-01
BLACKSTONE SENFINA ADVISORS LLC SHAREHOLDER indirect 2007-06-01
BLACKSTONE CORE EQUITY ADVISORS L.L.C. SHAREHOLDER indirect 2007-06-01
BLACKSTONE PROPERTY ADVISORS L.P. SHAREHOLDER indirect 2007-06-01
BXMT ADVISORS L.L.C. SHAREHOLDER indirect 2007-06-01
BX REIT ADVISORS L.L.C. SHAREHOLDER indirect 2007-06-01
BLACKSTONE ISG ADVISORS L.L.C. SHAREHOLDER indirect 2007-06-01
BLACKSTONE ISG-II ADVISORS L.L.C. SHAREHOLDER indirect 2007-06-01
BLACKSTONE INFRASTRUCTURE ADVISORS L.L.C. SHARHEOLDER indirect 2007-06-01
BLACKSTONE HOLDINGS I/II GP INC. GENERAL PARTNER BLACKSTONE HOLDINGS II L.P. 06/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
BLACKSTONE ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2007-06-01
BLACKSTONE MEZZANINE ADVISORS LP GENERAL PARTNER indirect 2007-06-01
BLACKSTONE REAL ESTATE ADVISORS III LP GENERAL PARTNER indirect 2007-06-01
BLACKSTONE MANAGEMENT PARTNERS III LLC GENERAL PARTNER indirect 2007-06-01
BLACKSTONE COMMUNICATIONS ADVISORS I LLC GENERAL PARTNER indirect 2007-06-01
BLACKSTONE MANAGEMENT PARTNERS LP GENERAL PARTNER indirect 2007-06-01
BLACKSTONE REAL ESTATE ADVISORS LP GENERAL PARTNER indirect 2007-06-01
BLACKSTONE REAL ESTATE ADVISORS INTERNATIONAL L.L.C GENERAL PARTNER indirect 2007-06-01
BLACKSTONE MANAGEMENT PARTNERS IV L.L.C. GENERAL PARTNER indirect 2007-06-01
BLACKSTONE DEBT ADVISORS L.P. GENERAL PARTNER indirect 2007-06-01
BLACKSTONE REAL ESTATE ADVISORS IV L.L.C. GENERAL PARTNER indirect 2007-06-01
STRATEGIC PARTNERS FUND SOLUTIONS ADVISORS L.P. GENERAL PARTNER indirect 2007-06-01
BLACKSTONE DISTRESSED SECURITIES ADVISORS L.P. GENERAL PARTNER indirect 2007-06-01
BLACKSTONE REAL ESTATE ADVISORS EUROPE L.P. GENERAL PARTNER indirect 2007-06-01
BLACKSTONE MANAGEMENT PARTNERS L.L.C. GENERAL PARTNER indirect 2007-06-01
BLACKSTONE ASIA ADVISORS L.L.C. GENERAL PARTNER indirect 2007-06-01
GSO CAPITAL PARTNERS LP GENERAL PARTNER indirect 2007-06-01
GSO CAPITAL PARTNERS LP GENERAL PARTNER indirect 2007-06-01
BLACKSTONE REAL ESTATE ADVISORS V L.P. GENERAL PARTNER indirect 2007-06-01
BLACKSTONE L/S ADVISORS L.L.C. GENERAL PARTNER indirect 2007-06-01
BLACKSTONE STRATEGIC ALLIANCE ADVISORS L.L.C. GENERAL PARTNER indirect 2007-06-01
BLACKSTONE STRATEGIC ALLIANCE ADVISORS L.L.C. GENERAL PARTNER indirect 2007-06-01
BLACKSTONE REAL ESTATE ADVISORS L.P. GENERAL PARTNER indirect 2007-06-01
GSO / BLACKSTONE DEBT FUNDS MANAGEMENT LLC GENERAL PARTNER indirect 2007-06-01
GSO / BLACKSTONE DEBT FUNDS MANAGEMENT LLC GENERAL PARTNER indirect 2007-06-01
BLACKSTONE REAL ESTATE SPECIAL SITUATIONS ADVISORS L.L.C GENERAL PARTNER indirect 2007-12-01
BLACKSTONE ASIA EVENT ADVISORS L.L.C. GENERAL PARTNER indirect 2008-05-01
BLACKSTONE CLEANTECH VENTURE ADVISORS L.L.C. GENERAL PARTNER indirect 2008-10-01
GSO CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2009-11-01
GSO CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2009-11-01
GSO CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2009-11-01
BLACKSTONE INFRASTRUCTURE MANAGEMENT PARTNERS L.L.C GENERAL PARTNER indirect 2009-12-01
BAYVIEW ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2007-06-01
BLACKSTONE ALTERNATIVE SOLUTIONS L.L.C. GENERAL PARTNER indirect 2007-06-01
CT INVESTMENT MANAGEMENT CO., LLC GENERAL PARTNER indirect 2007-12-01
BLACKSTONE TACTICAL OPPORTUNITIES ADVISORS L.L.C. GENERAL PARTNER indirect 2011-12-01
BLACKSTONE ALTERNATIVE INVESTMENT ADVISORS L.L.C. GENERAL PARTNER indirect 2007-06-01
BLACKSTONE TREASURY SOLUTIONS ADVISORS L.L.C. GENERAL PARTNER indirect 2007-06-01
BLACKSTONE REAL ESTATE INCOME ADVISORS L.L.C. GENERAL PARTNER indirect 2007-06-01
BLACKSTONE MULTI-ASSET ADVISORS L.L.C. GENERAL PARTNER indirect 2007-06-01
BLACKSTONE NWI ASSET MANAGEMENT L.L.C. GENERAL PARTNER indirect 2007-06-01
BLACKSTONE CORE EQUITY ADVISORS L.L.C. GENERAL PARTNER indirect 2007-06-01
BLACKSTONE PROPERTY ADVISORS L.P. GENERAL PARTNER indirect 2007-06-01
BXMT ADVISORS L.L.C. GENERAL PARTNER indirect 2007-12-01
BX REIT ADVISORS L.L.C. GENERAL PARTNER indirect 2007-06-01
BLACKSTONE ISG ADVISORS L.L.C. GENERAL PARTNER indirect 2007-06-01
BLACKSTONE ISG-II ADVISORS L.L.C. GENERAL PARTNER indirect 2007-06-01
BLACKSTONE INFRASTRUCTURE ADVISORS L.L.C. GENERAL PARTNER indirect 2007-06-01
BLACKSTONE HOLDINGS II L.P. MEMBER BMA V USS L.L.C. 06/01/2007 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
GSO CAPITAL PARTNERS LP LIMITED PARTNER direct 2008-03-01
BAYVIEW ASSET MANAGEMENT, LLC MEMBER indirect 2007-06-01
BLACKSTONE NWI ASSET MANAGEMENT L.L.C. SOLE MEMBER indirect 2013-09-01
BMA V USS L.L.C. MEMBER BLACKSTONE MANAGEMENT ASSOCIATES V USS L.L.C. 08/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC MEMBER indirect 2006-08-01
BLACKSTONE MANAGEMENT ASSOCIATES V USS L.L.C. GENERAL PARTNER BLACKSTONE RGIS CAPITAL PARTNERS V L.P. 04/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2007-04-01
BAYVIEW ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2007-04-01
BLACKSTONE RGIS CAPITAL PARTNERS V L.P. MEMBER BISCAYNE ONE, LLC 07/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC MEMBER indirect 2008-07-01
HECTOR, NANCY SHAREHOLDER BAYVIEW FINANCIAL MANAGEMENT CORP. 12/01/1997 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1997-12-01
PINGORA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1997-12-01
ERTEL, DAVID SHAREHOLDER BAYVIEW FINANCIAL MANAGEMENT CORP. 12/01/1997 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1994-12-01
BAYVIEW ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1997-12-01
BAYVIEW ASSET MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER / DIRECTOR direct 2008-07-01
PINGORA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1994-12-01
PINGORA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1997-12-01
BAYVIEW FINANCIAL MANAGEMENT CORP. GENERAL PARTNER BAYVIEW FINANCIAL HOLDINGS, L.P. 06/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2007-06-01
BAYVIEW ASSET MANAGEMENT, LLC MEMBER indirect 2015-02-01
PINGORA ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2007-06-01
PINGORA ASSET MANAGEMENT, LLC MEMBER indirect 2015-02-01
ERTEL, DAVID SHAREHOLDER BFTG HOLDING COMPANY, INC. 12/01/1994 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1994-12-01
BAYVIEW ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1997-12-01
BAYVIEW ASSET MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER / DIRECTOR direct 2008-07-01
PINGORA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1994-12-01
PINGORA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1997-12-01
BFTG HOLDING COMPANY, INC. LIMITED PARTNER BAYVIEW FINANCIAL HOLDINGS, L.P. 07/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BAYVIEW ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2007-07-01
PINGORA ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2007-07-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BAYVIEW OPPORTUNITY MASTER FUND IIA, L.P. Cayman Islands 805-6366049958 Hedge Fund 226,309,100 10,000,000 Master Fund
BAYVIEW OPPORTUNITY MASTER FUND V, L.P. Cayman Islands 805-4791381141 Hedge Fund 107,796,264 10,000,000 Master Fund
BAYVIEW MSR OPPORTUNITY MASTER FUND, L.P. Cayman Islands 805-2199773936 Hedge Fund 6,999,994,000 10,000,000 Master Fund
BAYVIEW OPPORTUNITY MASTER FUND IIB, L.P. United States 805-6475253630 Hedge Fund 59,596,000 10,000,000
BAYVIEW LIQUID CREDIT STRATEGIES MASTER FUND, L.P. Cayman Islands 805-4455518501 Hedge Fund 486,036,000 1,000,000 Master Fund
KOITERE FUND, L.P. United States 805-4094154575 Hedge Fund 1,244,934,000 10,000,000
IVALO FUND, L.P. United States 805-9618772583 Hedge Fund 1,327,563,000 10,000,000 Fund of Funds
MORTGAGE FUND IVC, LP United States 805-1602213183 Hedge Fund 906,294,000 10,000,000
BAYVIEW OPPORTUNITY MASTER FUND IIIB, L.P. Cayman Islands 805-9198287442 Hedge Fund 1,254,056,000 10,000,000 Master Fund
BAYVIEW OPPORTUNITY MASTER FUND IVB, L.P. Cayman Islands 805-5422857437 Hedge Fund 3,754,783,000 10,000,000 Master Fund
BAYVIEW OPPORTUNITY MASTER FUND IIIA, L.P. Cayman Islands 805-9644228304 Hedge Fund 1,099,193,400 10,000,000 Master Fund
BAYVIEW OPPORTUNITY MASTER FUND IVA, L.P. Cayman Islands 805-2581593152 Hedge Fund 5,750,520,000 10,000,000 Master Fund
BAYVIEW MORTGAGE SECURITIES MASTER FUND, L.P. Cayman Islands 805-3611529653 Hedge Fund 2,344,730,000 1,000,000 Master Fund
BAYVIEW OPPORTUNITY MASTER FUND, L.P. Cayman Islands 805-4592646488 Hedge Fund 304,752,250 10,000,000 Master Fund

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